190

CHAPTER 7

CHEMICAL PATENTS: SEARCH STRATEGY

CHAPTER 7

CHEMICAL PATENTS: SEARCH STRATEGIES 190-

223

7.1 Reasons to search patent information 191

7.2 Types of searches 192

7.3 Current strategies in searching 199

7.4 Patent alerting services and agencies 200

7.5 Organizations assisting patent services in India 202

7.6 Chemical patent literature searching tools 204

7.7 Visualization software tools for statistical analysis 213

7.8 Search strategy 214

7.9 Chemical patent searching for research decisions 216

7.10 Searching patent information online and developing search startegy 218

References 222

191

Chapter 7: Chemical Patents: Search Strategy

Patent information is concerned with patented inventions disclosed in a patent

document. Inventions covered in patents are successful solutions to technical problems.

Filing of patents is an essential feature in the patenting process in every country

throughout world. Patent literature provides full technical details of the invention

including commercial information which provides new insight to new market, activity

of competitors, the countries and industries developing the products, etc. An indication

of proper markets for products and its further developments can be obtained by

evaluating the worldwide patent practices used by competitors. The patent prior art

search provides review of patent literature in a particular area, which helps researchers

in drafting patent claims and applications as well as avoiding duplication of research.

For various reasons and purposes, the patent information is reviewed and searched by

the researcher.

Williams M (2007), in his presentation, pointed out that about one million new

inventions are disclosed in the form of patents every year. Patent literature is valuable to

researchers because it is useful for typical research solution. The value of patent is

territorial, but disclosure is global. Patent literature and patent information can

contribute to strategic analysis of any industry, which covers aspects like monitoring

technology life cycle, company development analysis, patentability activity, review of

the emerging areas or fields etc. Patent information also acts as an indicator of

knowledge production, technology flow, productivity growth which is useful for

economic growth. Patent output is a basic indicator in innovation index. Initial objective

of searching patent information is to create a large set of patents relating to a topic,

which can be synthesized, analyzed and refined for further use.

7.1 Reasons to Search Patent Information:

CAS (2003) explained the nature of patent literature. CAS is one of the best information

providing resource, and CAS pointed out the need and reasons for searching the patent

literature like,

Identifying new research areas and finding licensing opportunities

192

Avoid duplication of research activity or reinventing the same, which is very

costly and time taking.

Patents form a part of background literature as it describes the invention in

broad terms which gives some idea about alternatives to technology.

Licensing of useful technologies.

Avoiding infringement.

Finding the related companies, competitors, experts in the field

Discovery and protection of new innovative activities by drafting suitable

applications.

Information disclosed in patents is not available in any other sources of

information.

Analyze the trends in subject area using the patent filing data for a certain period

Patent mapping and statistical analysis of patent data by visualization techniques

to identify emerging trends.

Predictions of technologies and areas of research

Industries prefer to publish research by filing patents and protecting the

monopoly and rights.

Before initiating R & D projects, an effective study of state of art is conducted. This is

useful for awareness and avoiding duplicate work. While searching for information,

focus on books, journal articles, reports etc is not enough. Patent literature is also to be

considered as one of the prominent resources of getting nascent information.

7.2 Types of Searches:-

While conducting literature search for getting solutions to the specific problems,

particular and specialized searches are being conducted. Various types of searches need

to be conducted to get specific information from patent literature. Patent information is

being searched by researchers (users), information professionals, patent offices, patent

lawyers or attorneys, planners and forecasters, etc. for various reasons. The types of

searches are categorized and grouped into following tables

193

Table 7.1 Types of patent information searches

Type of searches Purpose and Utility

Subject Search To find what has been published in a subject or in

a specialized field to establish the state of the art

(to know what is already known and what is

already protected by patent).

Map the technological evolution of a process

Monitor patent infringement

Bibliographic Search This is easy and quick search for acquiring bibliographic

elements of known patents. This is a general purpose

search

Keyword Search (Text

search)

Common way of searching information, using keywords

to retrieve the subset of subject.

Patent Classification

Search

IPC search is useful for researcher to browse the

literature on a particular subject of interest. It requires

professional skills, expertise, searching experience and

knowledge of the domain.

Inventor or Assignee

Search Patents filed by an applicant, either by inventor

(person) or assignee (company), are searched for

reviewing status of a company.

To locate experts, consultants and identify

competitors.

To locate ownership of process, product, monitor

patent infringement, etc.

Publication and

Application Data Search

These searches are carried out either by patent number,

date of filing, priority date, application number,

application date, etc. This is for maintaining the

developments during specific period of time.

Patent Family Search To find out, in which other countries inventor has

filed patent application.

To find out whether an invention is protected in a

specific country.

To find out patents filed in English to avoid

translation.

194

Type of searches Purpose and Utility

Legal Status Search To check the validity of patent and use the invention

if its term is over.

Identify patent extensions, patent validity.

Chemical Substances

Search

Searching patents using chemical names or structures to

get valid information. These are used in chemical

sciences.

Country wise Search Survey of international technology for filing of patents in

respective countries and monitoring the progress of a

country in terms of patent filing.

Novelty Search This is the most important search. It is conducted to

check the newness of data and innovative concepts at the

time of drafting or after filing of a patent application.

Chemical Structure

Search

Exact search of chemical compounds (structure or

substructure) for establishing novelty and granting

patents in chemical sciences.

State of Art Search This type of search is conducted to track the development

of topics or subjects.

Current Awareness

Search

Such types of searches are conducted to get the

information related to current developments in the area

of new patents granted by patent office.

Business and Market

Information Search

This helps in taking the decisions in entering into the

business or fixing the marketing practices.

Citation Search Many databases support citations (forward or backward)

and these are helpful for tracking research development

in any field.

Cutting Edge Technology

Search

Conducted to get complete review of developments

within a year or less to track the developments.

195

While searching patent information the user must know the requirements and a specific

problem on which information is to be searched. Generally the keyword search, subject

search, patent number search etc are very common. The search type or technique is

chosen based on the query.

The patent offices, the patent attorneys, and legal advisors also conduct patent searches

to monitor patent tracking and granting as well as to validate the novelty and usability

of patent applications filed. The searches performed by the attorney are given in the

following table.

Table 7.2 Types of searches conducted by patent offices/patent attorney.

Type of search Purpose and Utility

Infringement

Search

This is conducted to check the infringement. These are necessary to

keep patents in force and avoid litigations.

Attorney

Search

Before granting patents, the patent Attorney or patent examiner

scrutinizes the novelty and non obviousness. For this purpose

Attorney has many tools to find novelty. In chemical sciences,

structure search is more popular.

Patent Validity

Search

These are similar to patentability search and include all forms of

published literature, but limited to the publications with effective

dates earlier than the filing date of the patent application being

challenged.

Patentability

Search

Patentability searches are carried out by examiners employed in the

national and regional patent offices. This is an important step in the

examination of patent application. Patentability searches can be

done by inventors prior to filing a patent application to make sure

that claims may not overlap with any other patent. These searches

encompass full scope of published literature including patents,

technical journals and grey literature.

196

Type of search Purpose and Utility

Prior art

search:

This search is conducted to review information published in the

same area, and compare with innovative concepts described along

with the summary of prior art. Simmons (1993) mentioned that valid

patent claims are issued only on an invention that is novel and

innovative in the light of prior art, and hence it is necessary to

search prior art for the previous references either to the composition

of matter, process or machine defined in the claims of a patent

application, or to any similar composition, process or apparatus that

would render claimed invention obvious to a person skilled in the

field of invention. The invention described in the patent document is

said to have been anticipated in the prior art and is not patentable.

Rights

Termination

Search

Unlike the infringement search which focuses on non-terminated

patents, this search focuses on terminated patents. This search

determines the potential legal outcomes of reproducing processes,

products, and designs of other companies of which the exclusive

rights have been terminated.

Users are generally needed to conduct any search or a combination of 2 to 3 searches,

depending upon the need. All the searches are conducted by them or they get it done

through information professionals. Few searches in addition to above are conducted by

the users. These are compiled in the following table

197

Table 7.3 Types of patent searches conducted by users or information professionals

Type of search Utility

Pre-Application

Searches (PAS)

In this search, the inventor looks for printed publications, public

knowledge, or patents already issued in his country or a foreign

country that may relate to the particular invention.

State-of-the-Art

Searches

This kind of search, also referred to as „Informative Search‟, is

made to determine the general state-of-the-art for the solution of

a given technical problem as background information for R&D

activities and in order to know what patent publications already

exist in the field of the technology or research and to identify the

alternative technology.

Novelty Searches/

Prior Art Searches

A key part of the patent application process is examining prior

art. Each of the world‟s patent offices examines a filed

application based upon similar standards pertaining to the

utility, novelty and non-obviousness requirements.

Patent Family or

equivalent search

This search is for finding out family members of a specific

patent document. All of the patents and applications associated

with the original patent application are together called the patent

family. This is used to get a copy of the patent in English.

PCT National Phase

Entry

This type of search is carried out for finding out whether a

specific PCT Published Application has entered into the

National Phase of any country. This search gives an idea as to

whether that particular PCT application is being pursued in the

country of interest or not and if it is being pursued, its legal

status can be checked. This kind of input is especially helpful

for due diligence, competitor intelligence and futuristic market

watch.

198

Following different types of concept searches are also conducted for patents related to

any technological or scientific area.

Table 7.4 Types of concept based searches

Type of search Utility

Freedom to Operate

Search

This type of search is usually used to determine whether a

particular action, such as testing or commercializing a

product, can be done without infringing valid intellectual

property rights of others. Since patents are territorial in

nature, a freedom to operate search is to be performed

separately for each of the prospective markets.

Infringement

Analysis Search

This type of search is performed in order to assess whether

the proposed product or process is infringing any valid

enforceable patent to avoid conflict.

Markets-wise Patent

Trends

This type of search gives an overall macro view of patent

protection for a particular product/ technology or process in

selected markets like USA, Japan, Latin America, China,

Africa etc.

Technology Trend

Analysis

This type of analysis is useful for long term strategic decision

making especially for research and development units.

Competitor

Intelligence

Researchers conduct various types of highly customized

searches that help in monitoring the activities of close

competitors. Vital information for future strategies based on

competitors‟ development, direction of their R&D efforts and

areas of their interests are gleaned from such searches which

provide valuable inputs for long term strategic planning

process.

Structure Search This is a specific search for finding out the exact research

carried out on a particular chemical molecule with the help of

ring structure. Structure search is very useful for collecting

specific information.

From the above tables it is found that, while filing or searching patents, various types of

searches are conducted based on requirement of patentability needs. To conduct these

searches, the user or information professionals must be trained to get best results using

different search strategies. Many information resources and databases are available for

conducting the above mentioned searches. These are discussed in the following

199

sections. Knowing the information resources alone does not help but mining of

information is a skillful task which is also needed for effective searching. Both users

and information professionals must be aware of this fact.

7.3 Current Strategies in Searching:

While searching, the information users are required to know the advanced search

facilities included in the searching process like mapping, visualizing, plotting etc. to get

the processed analytical information for policy decision management.

7.3.1 Patent Map

This is a search of prior patent information in relation to new generation. It is a precise

and comprehensive method. This method can be applied to highly advanced utilization

method. It is used for the purpose of technology information utilization, technology

development trends, technology extension situations, competitor trends, market

participation potential, product development flow, determining technology scope, and

utilization of patent acquisition potential etc. through collection, extraction, analysis,

and mapping of relevant data. This is done to enable the setting of R&D direction,

overlap investment prevention, missing technology discovery, prior prevention of patent

disputes etc. by determining the proliferation status of the technology.

7.3.2 Chemoinformatics:

Chemoinformatics is application of Information Technology to the investigation of

chemistry research problems to analyze and organize chemical data. It works with huge

amount of data and develops systems to organize and evaluate data to provide new

insight for further chemical research. This is a good tool and technique for analyzing

data. This tool is used while searching patents in the area of chemical sciences.

7.3.3 Patinformatics:

Patinformatics is the science of analyzing patent information to discover relationships

and trends which would be difficult to see when working with patent document on a

200

one-on-one basis. The term patinformatics encompasses all forms of analyzing patent

information. In short, patinformatics is the science of identifying haystacks from space.

(Trippe, www.acscinf.org).

7.3.4 New techniques

New techniques are also applied in this area. They are patent intelligence, patent

mapping, and patent citation analysis. Patent intelligence relates to the use of patent

information to identify technical capabilities of an organization and to use that

intelligence to develop a strategy for strategic technical planning. Patent mapping is

also known as white space mapping, which uses published patent data to create a

geographical or physical representation of the relevant art pertaining to a particular

subject area or novel invention. Patent citation analysis is the study of patent citations

for potentially determining a patent‟s value or perhaps more reliably, the identification

of potential licensing partners.

7.4 Patent Alerting Services and Agencies:

The growth in patent literature and accuracy in gathering information from the massive

patent resources led to initiation of development of patent information services from

secondary information sources for providing easy access to the patent information. Few

of them are listed below.

7.4.1 Monthly Patent-Watch

Under this service, focused weekly updates are provided on the published patent

applications related to specified technological area as suggested by the subscriber.

(http://www.rkdewan.com/servicesSearchPatent.jsp). Searches of scientific and

technical literature are performed using any of the information retrieval tools suitable

for searches (Discussed in the Chapter 5). Searching information is a skill and there are

special techniques used to search information from printed and digital information

sources. In the information technology era, the searching methods are being changed

201

and accurate information is being retrieved. The patent information search has different

techniques for searching the data using different aspects of elements.

7.4.2. Technology Development

Patent information comprises of extensive information accumulated over a long period

of time. It is technology information enabling the acquisition of new information in

relation to idea collection and research progress when searching for new R&D themes.

Although the technology is announced after 18 months in accordance with the

application announcement system, it enables determination of technology trends and

standards of similar firms in a particular field. It makes, the theme selection, discovery

of missing technology, and adjustments in development process of one‟s firm, possible.

7.4.3 Rights Acquisition and Utilization

When constructing specifications, one‟s own scope of right can be confirmed by taking

the details related to rights and prior technology of other firms into consideration, and a

decision in relation to patent acquisition can be reached. Patent rights of other

companies can be obstructed or their scope of right can be reduced through information

provision, submission of objections, invalidity judgments etc.

7.4.4 Management Information

It is means to create management profits through royalty revenues and prevention of

overlapping research by determining the technology and merchandizing trends of

competitor corporations. It should be utilized and managed as management information

to secure product competitiveness using the monopolistic market control over the period

for which the right is valid.

Such type of advanced search services in addition to online databases searching, for

patent related activities, are established and many agencies like CAS, DERWENT,

Micropatent, Delphion are providing these search strategies to the users.

202

7.5 Organizations Assisting Patent Services in India:

Many organizations contribute to provide patent information on national and

international levels. Some provide information about the patents filed in the country in

which they are located while others provide information pertaining to a group of

countries. In India, there are many agencies and organizations which support the patent

information services. Among them PIS, Nagpur is the prominent organization which

helps in providing patent information services.

7.5.1 Patent Information System (PIS), Nagpur

Government of India, Ministry of Industry, and Department of Industrial Development

established the PIS in 1980 in order to retrieve and disseminate technical information

contained in patent documents. PIS provides a number of search facilities and copies of

patent specifications. The services provided are current awareness search, state of art

search, SDI-search documentation, SDI-search, bibliographic search, English equivalent

patent search, etc. PIS has exhaustive collection of Indian Patents documentation.

7.5.2 National Information Centre (NIC), New Delhi

The patent and know-how information division of NIC provides patent bibliographic

service without abstracts or with abstracts and full text.

7.5.3 Patent Facilitating Centre (PFC), and Technology Information Forecasting

and Assessment Council (TIFAC), New Delhi

TIFAC has developed Indian Patent Database (CD-ROM/online); Ekaswa – A ( Indian

patent applications filed and published in the Gazette of India (Part III, Section2, 1995),

and Ekaswa-B (Patent applications notified for opposition in the Gazette of India (Part

III, Section 2), 1995). These databases provide information about Indian Patent

literature to the users. Patent searches, abstracts and full text of patents (Free for

universities, academic institutions, government R & D institutions and government

departments), are also provided to the users.

203

7.5.4 National Institute of Science Communication and Information Resources

(NISCAIR, formerly INSDOC), New Delhi

It provides patent services such as „Patent Document Supply‟ for Indian and foreign

patents, „Patent Alert‟ service that provides details and abstracts of patents filed or

granted on a specific topic, „Full Text Patent etc. „Patent Analysis‟ service provides

information after analysis of patents by subject experts. INPAT on CD-ROM is

available for sale, which gives information of published Indian patents.

7.5.5 Intellectual Property Management Division of the Council of Industrial

Research (IPMD, CSIR), New Delhi

The Patents Unit of CSIR has developed a computerized database on Indian Patents

covering the period 1972 till date. The database provides flexibilities to retrieve

information in any form of bibliographic items namely, patent number, application

number and date, applicants and inventors‟ name, priority data, international patent

classification, and Indian patent classification. Patent Search facility is available to

public on commercial basis. This database is available online through National Institute

of Science Communication and Information Resources (NISCAIR), CSIR New Delhi.

Many Government departments have established facilities for online access of

international databases including the patent databases. NISCAIR is providing

information from international databases on commercial basis.

7.5.6 National Research and Development Corporation (NRDC), New Delhi

This organization provides services such as online facility for locating international

patents to conduct a state-of-the-art technology survey, Assessment of patentability of

inventions, assisting inventors in patenting their inventions in India and abroad and

providing training on patents and patenting.

7.5.7 Value Added Patent Information Systems (VAPIS)

The Value added patent Information Systems have been established not only to obtain

patent copies for its clients; but also to add value to information available in the patents

by providing additional information such as new technologies, business opportunities,

204

and competitive intelligence. This type of service, containing exhaustive information on

all the relevant aspects, is of great use to the user that enables him to take vital decisions

like investment etc. The Department of Industrial Promotion and Policy has also agreed

to participate in this program. The functions of the VAPIS are: to provide full text of

patents; use patent literature to provide information products and services; to develop

training and teaching programs concerned with patents; and monitoring the patenting

activity.

7.5.8 Value Added Patent Information Services of National Chemical

Laboratory, (VAPIS, NCL) Pune

The Value-added Patent Information Services Centre in Chemical Sciences is

operational since 25 October, 1996 as NICHEM, the NISSAT-sponsored information

centre in operation at NCL. It is one of the very few centers in India that provide user-

oriented information to clients in industry. Value addition to patent information

involves understanding the contents of the patents, and adding to them the details of

technology gaps, and other items of crucial information. Besides these, there are 40

Indian Patent Inspection Centers spread all over the country which hold Indian patents

and provide access to them. National Information System for Science and Technology

(NISSAT), Department of Scientific and Industrial Research, New Delhi has set up

centers for online data searches. There are many centers which are involved in this

activity, and provide information services to the users.

7.6 Chemical Patent Literature Searching Tools

Every information resource has its own advantages and disadvantages and they are in

various forms from paper to digital. Due to rapid increase of electronic information

sources in the patents resources, searcher has more choices. However, the selection of

database is based on content and the characteristics of database like subject coverage,

time coverage, contents, search facility, data content (number of records), reliability,

language, keywords, simple method of search etc. While searching, combination of

online databases, CD Rom databases and Internet information resources make the

search more effective.

205

7.6.1 Importance of Patent Databases:

Patent databases contain very extensive scientific and technical information which is

not published in other sources of information. Hence patent databases are searched

when comprehensive information on a topic is required. This also helps in establishing

the prior art. Patent literature is important for the researchers and industry as well.

Patents protect inventions. Access points are required for satisfying various queries

generally solved by patent literature. Hence the patent databases are required in the

research field. The information searcher must be well acquainted with the various tools

available for searching the required information using the resources irrespective of its

forms.

In chemical sciences, there are many specialized resources available for searching

patent information and these are listed in the following sections.

7.6.1.1 Printed or Digital Resources from the Patent Offices:

The patent offices announce the details about patent information filed, accepted,

reverted, etc. in the publications called Patent journals or Gazetteers. Every country

publishes these resources viz. USA, „Official Gazettes‟; India, „Gazette of India Part III

Section II‟; UK, „Abridgement to patents‟ etc. Many of these are now available free on

the net.

7.6.1.2 Chemical Abstracts (CA) / SciFinder Scholar:

CA file is developed by Chemical Abstracts Service (CAS), a division of American

Chemical Society(ACS), USA, since 1907, and this is best example for the subject

coverage patent literature in chemical sciences. This database contains patents and

patent families in all the area of chemistry and chemical sciences. This source covers

patent data from 50 patent issuing authorities. The searches cover information form CA

file, Medicine, CAS React, and Registry file databases etc. The specialty of this

database is that it helps in searching specific and accurate information through access

points like Structure search, Legality search, CASRN etc.

206

7.6.1.3 Beilstein Crossfire (1779 onwards):

It provides worldwide literature in the field of Organic Chemistry. The Beilstein

Crossfire Chemical Information System is published by Elsevier. It covers data

published in Beilstein Hand Book of Organic Chemistry from 1779 onwards. The

database contains more than 8 Million organic compounds and provides access to

structure and related information.

7.6.1.4 Gemlin: (1772 onwards):

It provides worldwide literature in the area of inorganic chemistry and organometallic

chemistry. The data is covered from 1924 till date. It is a good tool for searching of

patent literature on metal compounds.

7.6.1.5 Embase (1947 onwards):

It is mainly a medical database developed by Excerpta Medica, however this database

also consist of data useful for biomedical sciences, medicinal chemistry, drugs and

pharmaceutical information.

7.6.1.6 Web of Science:

This database is developed by ISI Publishers of SCI and covers the data from the

Science Citation Index (1900 onwards), Social Science Citation index (1956 onwards)

and Art and Humanities (1975 onwards). In chemical sciences, Science Citation index is

very useful for analyzing the count of citations.

7.6.1.7 Delphion:

This patent database covers information from US, JP (1976 onwards), EP (1992

onwards), PCT (1988 onwards), and INPADOC.

7.6.1.8 MARPAT:

This database covers Markush Structures of organic and organometallic molecules form

patent claims. This database has started from 1988 and more than 4 lakh Markush

structures are stored in it and the database is regularly updated.

207

7.6.1.9 DWPI or DII:

Derwent is taken over by Thomson Reuters and this database is now developed by

them. It contains patent information and more than 20 million records of patents are

available in this source from 1963.

Many resources related to chemical information are also discussed in chapter 5

elaborately. However, the information resources available only for patent information

searching are listed in the following table. These may be useful to the chemists and the

information professionals for searching the desired chemical information.

Table 7.5 Databases covering patent literature

Sr.

No.

Name of Database Producer Coverage

1 WPI (World Patent

Index)

Derwent

Information Ltd

International patent coverage

with bibliographic data, patent

families, comprehensive data,

English abstracts,

2 INPADOC International Patent

Documentation

Center

International, bibliographic

data, patent families, legal

status, 16 countries coverage

3 EDOC Institut National de

la propriete

Industrielle

International, bibliographic

data, Patent families,

4 US Patents Full text

(PATFULL)

Knight Rider

Information

services,

IFI/Plenum Data

US only, Full bibliographic

data, full text patent,

208

Sr.

No.

Name of Database Producer Coverage

5 USPATFULL Chemical Abstracts

service (CAS)

US, Bibliographic data, Full

text, Chemical Abstracts

Indexing

6 LEXPAT LEXIS-NEXIS US, Bibliographic data, full

text, Indexing from claims

7 CLAIMS IFI/Plenum Data

co.

US, Bibliographic data,

abstracts, full claims,

Chemical Structure, patent

name coding

8 European Patents European Patent

Office

European coverage, Full

bibliographic data and

abstract, English, French and

German

9 PCTPAT WIPO World

Intellectual

Property

Organization

PCT coverage, Full

Bibliographic data, abstract,

10 FPAT Institut National de

la propriete

industrielle

France, Full bibliographic

data, abstract

11 PATDPA Deutsches

Patentamt

Germany, Full bibliographic

data, abstract

12 Chinese Patent

Abstarcts

European Patent

office

China, bibliographic data,

abstract

13 PATOLIS Japan Patent

Information

Organization

Japan, Full bibliographic data,

abstracts

14 JAPIO Japan Patent

Information

Organization

Japan, Full bibliographic data,

abstracts

209

Sr.

No.

Name of Database Producer Coverage

15 APIPAT American

Petroleum Inst

International, Petroleum,

bibliographic data,

16 CA File Chemical Abstracts

Service USA

International, Chemistry,

Bibliographic data, English,

Structure search

17 MARPAT Chemical Abstracts

Service USA

International, Chemistry,

structure search, Markush

search,

18 Biotechnology Abstract Chemical Abstract

file USA

International, Biotechnology

19 GeneSeq Chemical Abstract

file USA

International, Biotechnology

20 PharmaSearch Institut National de

la Properiete

Industrielle

International, Pharmaceutical,

Bibliographic data, English

Language

21 Current Patents Current Drugs Ltd. International, Pharmaceutical,

Bibliographic Data, English

22 Drug Patent

International

IMS World

Publications Ltd

International, Pharmaceutical,

Bibliographic Data, drug

patent

(Source : Simmons, E.S. Kirk Othmer Encyclopedia of Chemical Technology 1996)

210

Few Internet based free databases available for patent information searching are listed

below.

Table 7.6 Free Websites obtained from „Google‟ Search.

Sr.

No.

Database / Website Coverage / Country Subject Full

text

1 http://www.uspto.gov/

USPTO

USA Patents 1790

onwards

Science

and

Technolog

y.

Yes

2 http://ep.espacenet.com/

EPO

European Countries.

Coverage 1836 onwards,

and published patents

over 80 countries

Science

and

Technolog

y

Yes

3 http://www.google.com

Google Patents

US patents from USPTO

and dates back to 1790

Science

and

Technolog

y

Yes

4 www.cipo.ic.gc.ca

Canadian Patent database

Canadian Patents from

1920 onwards

All Yes

5 www.ipdl.ncipi.go.jp

Japanese Patent Office (JPO)

Japanese patents from

1922 onwards

All Yes

6 www.wipo.int/pctdb/en

WIPO / PCT

Covers International

Patent application from

1997 onwards

All Yes

7 www.surfip.gov.sg

SurfIP

It covers patents form

WIPO, EPO, UKPO,

USPTO, JPO, CIPO,

IPOS etc

All nil

8 www.oecd.org

OECD Patents

USPTO,WIPO, Thomson

Reuters

Patent related statistics,

reports, analysis of S & T

research.

S & T nil

(Source: http://www.google.com)

211

There are also national patent databases made available on the net by the respective

patent offices, to provide patent information to the users. These are useful for the

national patent filing.

From various databases which are commonly used and available on internet are

analyzed and compared in the following table which may help in searching the data

according to access points.

Table 7.7 Patent Database Comparison Table

*Some fields available only to subscribers

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A detailed chart of country wise databases and their coverage is given in Appendix 3.

In chemical sciences, the data is searched using general subject search, keyword search,

chemical name search, compound name search, trade name search, molecular formula

search, structure search, assignee search, registry search etc. for getting information on

preparation and manufacturing of compounds, properties, uses, applications, etc.

Although many databases support various access points, chemical abstract search using

CA file, is an excellent source of searching chemical patent information as it supports

various access points specific to the subject discipline. The search results obtained can

also be analyzed or visualized using ANAVIST software which helps in mapping the

information properly.

Patent literature has received a prominent place and many specialized patent databases

have been developed. Along with abstracting and indexing journals, the Official Patent

Journals of patent offices and databases play an important role in disseminating the

information. The databases have maximum access points and supports to searching

accurate information. The information search sets are also analyzed and mapped for

taking decisions in research outputs. Few softwares for analyzing searched data are also

now developed.

7.6.2 Patent Chemistry Database: Highlights

Few characteristics and highlights of databases dealing with patent related

information are listed below.

provides full experimental reaction text from patent document in addition to

the structure-searchable reaction scheme and reaction details

indexes not only claim reactions from process patents, but also cite reactions

from substance and application patents

contains substances with their experimental bioactivity data (e.g. IC/EC50-,

Ki / Kd -values) and allows exporting them to create structure activity

relationship tables using CrossFire Commander.

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provides experimental, physical substance data, especially spectral data

values (e.g. NMR, UV, IR, MS)

displays the claims texts together with the Markush structures and Markush

reactions to make relevance check easier

Hence patent information searching from these databases is very useful for decision

making in chemical sciences.

7.7 Visualization Software Tools for Statistical Analysis:

Visualizing techniques and tools are developed to map technological developments.

Based on this research, designs are fixed. Data is presented in graphical diagrams and

links the terms properly. Few softwares available are:

1) Analyst‟s Note book

2) Spore.com ( Provides patent matrix diagram and spore diagram)

3) Matheopatent ( Provides tabular and Bar chart matrix and networks)

4) Aureka of Micropatent

5) ANAVIST from STN

While searching patent information, the most important facet is development of suitable

search strategy. A proper search strategy will help in getting proper and relevant records

form the databases. Preparation of the search strategy is a skill and needs experience in

searching the information. Many times, the users who are subject experts prepare the

strategies and conduct the searches. But since they do not have idea about availability

and coverage of the databases, they find it difficult to search the proper information.

Hence the task of searching information is assigned to information professionals, who

have expertise in searching the subject information like chemical sciences. The search

strategy has to be developed in consultation with users‟ needs and hence the

information professionals and the information seekers must discuss the topic and

develop the search strategy skillfully.

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7.8 Search Strategy:

Search strategy is nothing but a systematic plan for conducting search to get

information from huge amount of literature. More perfect the search strategy, more

relevant search results would be obtained. The search strategy preparation is a skill and

needs subject knowledge, awareness of information resources, communication skills,

information technology skills, etc. The search strategy must be specific and objective. It

depends on purpose of search, need of information and content of databases.

7.8.1 Development of Search Strategies

There are few simple steps for searching information in a „SMARTER‟ way

from patent literature:

Specify information needs (e.g. identifying requirement and recent technical

developments in the topic selected)

Match information sources to needs (e.g. discuss with a patent information

search expert in addition to the database search requirements.)

Assess online patent search tools (e.g. which patent database(s) may cover the

required information.)

Recognize differences between patent databases and search tools (e.g. Identify

one or more patent databases, which cover the information, and build the cluster

of databases, if required)

Think search statements (e.g. which wildcards, proximity operators or Boolean

operators can be used to get the proper information.)

Execute the search ( It is online all the time connecting with host computer

located remotely)

Refine the search (e.g. Conduct the pilot search, review the results and think for

the additional parameters which could be used to refine the search results and

get the desired information)

The most efficient and effective search strategy depends on need and purpose of the

search and resources to be used.

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7.8.2 Types of Strategies:

Koenig (2002) discussed few basic search strategies that are commonly used to search

the patent literature. They are listed as follows.

Classification Search:

Using the classification catchword index, schedules and concordance tables along with

preliminary searches, this search determines all possible classifications for your

invention. It retrieves all documents from the classes and goes through them one-by-one

to assess their relevancy. This method of searching emulates the old manual method

employed by patent examiners when searching in the paper files. It is effective for

doing patentability searches in patent literature. However, this method is also quite

tedious. This is the only disadvantage of searching classes relates to the IPC. Every five

years the IPC is updated and new classes are created in high activity areas. However,

old patent documents are not reclassified into the new version thus there can be a

problem with class continuity.

Keyword Search:

Using keyword searches in titles, abstracts, descriptions and/or claim retrieves relevant

documents. However, there are problems with searching using keywords alone; for

example, searching for methods of de-foaming liquids while filling containers would be

very time-consuming, if not impossible, by using words: truncated words like fill* (or

fill?, etc.), contain*, bottle*, flask*, and their synonyms would yield too many postings.

Other limitations of searching exclusively with keywords include:

a) There are a large number of synonyms, patent jargon and spelling variations

to consider for each word. This problem can be attacked with operators and

wildcards (proximity search operators) but the problem cannot be eliminated

completely.

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b) Most databases work with indexed keywords; thus, searcher has to rely on the

quality of indexing.

c) Most databases only allow title or abstract searching which severely limits the

utility of keyword searching.

d) One term can be used in a variety of technologies; thus it leads to irrelevant

hits.

Hence, information searchers have to take care of all these factors while conducting

information search online.

7.9 Chemical Patent Searching for Research Decisions:

Chemical information searching is very complicated and needs skills in searching

information resources available in area of chemical sciences. On analyzing all the

information resources, it is found that the resources detailed in Chapter 5 and above, are

very useful for searching chemical and patent information which can lead to decision

making. However the information provided by Chemical Abstracts Service, a division

of American Chemical Society, USA, is most useful information resource for chemical

sciences. Researchers generally search the chemical information with the help of

various access points like authors, general subject, chemical substance name, trade

name, molecular formula, structure, synthesis or preparation of compounds, reactions,

safety, analytical information, physical and chemical properties, uses and applications,

patent information, toxic data etc. Although, the structure search is expensive as

compared to other types of searches, the information retrieved is more useful to the

chemists to find novelty in patent filings.

Different approaches for Patent Search:

Johns (1978) is of the opinion that research workers need three approaches of patent

searches viz. 1) before initiating the laboratory work, to find the methods to be followed

while conducting the experiments; 2) After synthesizing the compound and purifying it;

3) Know about the patents issued to competitors.

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Newman (1978) indicated that search strategies required for legal purposes are grouped

into four heads i.e. patentability search, validity search, infringement search, and

searches in anticipation of litigation etc.

Valicenti (1978) described different approaches and purposes for searching patent

literature viz. request by searcher, patent family search, search requested by patent

attorney, searching for the figures and structures etc.

The type of request determines which database is to be used or selected, depending on

the content and response to search parameters. The information specialist‟s job is that of

a traditional matchmaker. A client‟s request for specific information must be matched

with appropriate databases. In the area of patent literature, the clients include chemists,

engineers, physicists, patent attorneys and advisors. Defining the exact scope of the

question simplifies the „matching‟ task. A request for retrospective state of the art

search for a specific compound preparation must be examined from several viewpoints

like:

How far back must a search be done? As few databases go back to 1950

What countries should be covered? Some databases cover only the US patents,

whereas the others cover worldwide patents.

It is necessary to cite only those references that deal specifically with the

compound preparation? A few databases offer the refinement of role

specification as in case of CA.

Each database offers some unique characteristics or scope for searching. The

information specialist must be familiar with them. There is no „one-stop‟ searching for

patent searches. Each database offers some unique parameters, and the success rate of

searching is directly related to how well the searcher understands the scope and policies

of each. A combination of databases and searching techniques gives the searcher the

best possible match in patents.

The structure searching accessing facility in chemical science is a prominent search

technique and helps in searching accurate data on structure available in the database

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based on „exact search, sub structure search and related structure search‟. CAS provides

software for drawing the chemical structure and uploading it in the CA database file for

searching data.

7.10 Searching Patent Information Online and Developing Search Strategy:

Ridley (1996) has pointed out the principle role of information professionals or

specialists and scientists in the online searching of information from various databases

available. He suggested that there must be a close association between information

specialist and scientist. Each of them has their special roles to play in this activity. He

further pointed out the specific roles of information professionals which are listed

below.

Maintain the hardware and software

Maintain access to online networks

Have full knowledge of network commands and techniques required for online

searching

Familiar with information databases and resources and its structure

Conduct training programs

Keep updated with the current changes in the online sector.

CAS / STN (Chemical Abstracts Service / Science and Technology Network) is an

online information resource provider and assists in providing access to information on

various topics of S & T. There are about 200 databases which provide users with

information on disciplines through bibliographic, full text, structure, and numeric

databases. These databases can be connected online remotely through communication

and connecting computer to the host. A user login ID and password are essentially

required for connecting to the host.

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While conducting search, some preliminary aspects are to be considered and a search

strategy is to be developed. Since online search is a cost involved process, it needs to be

utilized with utmost care and efforts should be taken to make it cost effective by

searching accurate information with the help of specific search strategies. For this

purpose a detailed study of the topic is required and based on this study, a search

strategy can be developed.

Preparation of search Strategy:

A research topic of research worker‟s interest is received by information professionals

having skills of online searching. On getting the query, the information professionals

understand the topic and follow certain procedure to develop the search strategy.

Following steps give the details of the procedure followed.

Step 1: Determine search question or topic

A search question received is to be analyzed and divided into prominent keywords,

which suit the requirement of the user. (Discussions with users provide more

information on the topic which helps in gathering the required information)

Step 2: Identify relevant files (Databases)

Select the databases in which the probable answer to the question can be sought. It may

be a single or more than one file. For this purpose CAS/STN has provided complete list

of databases and their contents in the form of a catalogue and database sheets. Select the

relevant database/s from more than 200 S & T information resources available online.

(www.cas.org/online/stn/doc.html)

Step 3: Build the search question

The keywords prepared from the query are to be listed properly according to main

concept, and using thesaurus, synonyms, alternative terms are to be listed and connected

properly using Boolean Operators. Prepare a strategy based on this data. While

preparing search strategy, truncation symbols (? for Zero to any number of characters,

# Zero to one character at the end of term,! Exactly one character within a term or at the

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end of the term) and proximity operators ((W) for adjacent, (nW) n=1,2,3.., (A) adjacent

to each other, (nA) n or fewer words between each other) can be used to make the

question clear and get a precise answer.

Step 4: Selecting files and commands

The STN commands like file, expand, search, display, print and log off are to be used as

per the database file selected.

Step 5: Log in to CAS / STN host

Using the assigned user ID and password, log in to the host e.g. at Columbus, Ohio,

USA and get connected to host STN/CAS and upload the query.

Step6: Conduct the search:

The search is conducted and if required a pilot or preliminary search can also be

conducted and the results are to be evaluated. If required, the search query can be

sharpened, altered and the final search is conducted again.

Step 7: Closing the session (Log Off)

This involves storing of search results in a file, finding the cost of search, and then

logging off the session.

Step 8: Getting the feed back

The feedback from users for the search conducted must be received to analyze the

precision and recall as well as rate of satisfaction of user. This is also useful for future

searches.

While searching chemical information, the user queries are generally related to product,

preparation, uses, specific reactions, etc. and for this purpose, users provide various key

terms which they are familiar with like chemical name, trade name, molecular formula,

general subject, etc. A specialist provides ring structure or CAS registry number also.

Special facilities provided by CAS for searching the CA file having the CAS Roles can

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be used to get the proper and accurate results. The CAS roles are applied when

searching a particular aspect form CA File. These are preparation, analytical studies,

biological studies, formulations in pharmaceutical, occurrences and uses etc. Detailed

CAS database sheets are provided for each database so that user can get an idea of using

the commands and operators while searching information.

Michel (2006) points out the best practices, like challenges, patent searching, navigation

tools, search engines, search methodology, etc. in patent search. He has also discussed

the features of online searching of databases and has suggested best practices to be

observed while conducting literature search. Many aspects like nature of query, nature

of information required, end use of information collected, analyzing indexing terms,

resources, coverage and content of resources, nature of resources, etc. should be

considered while searching patent information. Nuyts, A. defines patent searching as

„To find in an efficient way a small set of records in a large collection that satisfies a

well defined query or information need‟ (as quoted by Michel (2006)). In short,

searching of information depends on design of a good strategy, by retrieving accurate

data, filtering of information and by adding value so that the search is more effective.

Thus the online searching process provides accurate information to the users instantly.

This practice is followed in searching chemical information, patent information, drug

and pharmaceutical information online and saves the time of users. Though the process

is cost involved, gaining of accurate information in less time is an advantage which

replaces the cost structure. The search can be conducted using single database or

multiple databases at a time. For this purpose the data cluster is prepared

Patents are complicated and competitive instruments of knowledge and information

contained in patents must be searched properly so that it forces the competitors to

change their product, process, market strategies etc. The search strategies help users to

find the gaps in research and trends in their areas of interest. Thus, searching

information in chemical sciences is very essential to develop new products in the

market.

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A generalized model for search methodology is given below.

Identification of elements to search (Independent and dependent elements).

To find search entities (codes, classes, keywords for each essential element).

Super set search (i.e. a set of documents where all documents relevant for

essential element are present to a recall close to 100%. This can be achieved by

using Boolean operators.

Elimination of non-relevant documents by revising the keywords.

Online searching is evolving gradually and requires a high level of expertise which

depends on the search frequency and which is not equally spread among people. Patent

searching is a complex process which requires sound technical knowledge of the field in

which the search is to be carried out, online searching techniques and knowledge of

databases. Continuous developments in electronic tools, like visualization tools,

available for searching need to be monitored. Hence, many factors, which are discussed

in this chapter, need to be considered for qualitative data mining and patent searching.

References:

1. Chemical Abstracts Service. (2003). Basic Patent search techniques. CAS (STN

workshop guide Book). Columbus: Author.

2. Johns, T. M. & Ryno, D. I. (1978) „Patent searching in a pharmaceutical

industry‟. Journal of Chemical Information and Computer Science, 18(1978),

79-80.

3. Koenig, H & Beauchemin, N.(2002). Researching the Patent Literature in the

Electronic Age. Canada: CIPO (Revised by Ron Simmer, PATSCAN)

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4. Michel, J. (2006). Considerations, Challenges and Methodologies for

implementing best practices in patent office and patent information departments.

(World Patent Information, 28, 132-135).

5. Newman, P. & Hoeberg, E. I. (1978), „What the patent attorney needs from a

patent information point of view‟. Journal of Chemical Information and

Computer Science, 8(1978), 83 – 85.

6. Ridely, D.D. (1996). Online Searching: A scientist‟s perspective (A guide for

Chemical and Life sciences). Chichester: John Wiley. P7

7. Simons, E.S & Kaback, S.M.( 1993). Patent Literature in Kirk-Othmer

Encyclopedia of Chemical Technology. New York: John Wiley and Sons.

Accessed at www.mrw.interscience.wiley.com ( Accessed on 25 Dec 2009)

8. Trippe, A.J. (2003). Patinformatics: Tasks to tools. World Patent Information,

25, 211-221. Accessed at www.acsint.org. (Accessed on 25th

September 2009).

9. Valicenti, A. K., (1978). „The information chemist‟s view of the patent

information needs of research workers and patent attorneys‟. Journal of

Chemical Information and Computer Science, 18(1978), 85-87.

10. Williams, M. (2007). WIPO Presentation. Geneva: WIPO.